ProFocus Incorporated

ProFocus serves individual clients, including high-net-worth households, as well as pension plans and business entities, providing fee-based investment advisory and financial planning along with business management and consulting services such as Form 5500 preparation and entity-structuring advice for a separate, fixed fee. The firm manages client portfolios on a primarily discretionary basis and charges asset-based advisory fees while also offering hourly consulting engagements for certain services.

The firm’s investment approach centers on a tactical allocation strategy intended to reduce risk and seek improved performance, using fundamental analysis to evaluate securities and employing a mix of instruments such as dividend-paying stocks, exchange-traded funds, master limited partnerships, ADRs, and fixed income, with the occasional use of cash positions as hedges. ProFocus implements both long-term and short-term trading, may recommend sector-specific stock selections or reallocation to address valuation or concentration concerns, and tailors portfolios to client objectives and risk tolerance.

A distinctive aspect of the firm is its role as a sponsor/syndicator of commercial real estate opportunities in which advisory clients may co-invest; the firm discloses those relationships, potential conflicts of interest, and the firm’s practice of not charging its advisory fee on client investments in those properties. ProFocus also requires clients to custody assets at a specified custodian (Charles Schwab) and provides flat-fee business-management services and entity-formation assistance, features that are less common among similarly sized advisory firms.